Director – Regulatory Management & Remediation

TD Bank•New York, NY

About The Position

The TD Securities U.S. Regulatory Management & Remediation team is responsible for the planning, execution, and delivery of key regulatory initiatives for our US Wholesale business, building foundational capabilities across our teams and providing strategic oversight into remediation approach and execution. The team partners closely with senior leaders across departments Risk, Legal, HR, Compliance, Audit and will work in close alignment with our TDGUS and CUSO operations and governance forums to ensure alignment with integrated remediation activities to our regulators. The Senior Manager / Director – Regulatory Management and Remediation Office. This will involve: Accountability for leading the end-to-end remediation across all businesses and technology aspects of the project with remediating and integrating an operating model to maximize efficiency, effectiveness and scalability Strong regulatory remediation partnership to drive through Internal Audit Validations and Governance standards. Responsible aligning all departments on objectives into a shared vision Providing leadership to technology and business partners to turn requirements into delivery with analyses and recommendations for solutions that meet business objectives within a timely and cost-effective manner. Establishing and managing resource plans, issues, risks, and financial plans to support the roadmap. Anticipating issues, trends and the potential impact and timely resolution of impediments, while effectively managing the program schedule (releases) and financials and ensuring continuing review and prioritization. Coordinating with the respective enterprise control partners (e.g., EPDE, Strategic Sourcing Group, Legal, TRMIS, OCDO. etc.) to appropriately select, engage and manage external service providers as required Staying energized, productive, and focused in the face of challenges, ambiguity, change or strenuous demands. Demonstrate ability to consistently apply expert judgment with available information when proposing solutions/recommendations Demonstrate ability to formulate cohesive recommendations regarding delivery approaches after consultation with key stakeholder groups on estimated effort, resource availability, cross-program dependencies, and other implementation constraints Ability to create and foster a cohesive team and promote a positive work environment for all employees. Ability to think strategically and possess strong business acumen Proven ability to stay focused under pressure, demonstrating resilience in challenging situations Ability to clearly communicate complex financial concepts and garner consensus on implementation methodology from all key stakeholders Ability to progress on multiple priorities concurrently while navigating unfamiliar territory and ambiguous/evolving circumstances. Aptitude for amalgamating and interpreting large volumes of information, identifying key clarifications required, and formulating next steps to proceed. Building trust with stakeholder groups and maintain good working relationships with other departments. Leading an effective and diverse business team to effectively deliver productivity, quality, and innovation.

Requirements

Knowledge of project delivery methodologies (including PDLC and TD Agile scaling frameworks)
Knowledge of risk framework and metrics
Knowledge of Capital Markets
Knowledge of regulatory requirements
Experience in navigating through governance and control standards
Experience in audit remediations
Ability to apply industry frameworks and techniques
Passion to succeed, results-oriented
Flexible, with an innate ability to "course correct"
Adaptive communication skills
Ability to build and motivate teams
High threshold dealing with ambiguity
Entrepreneurial mindset
Drive for continuous improvement
Ability to influence all parties while driving remediation
Prior experience with delivering major regulatory programs, audit validation, and/or infrastructure implementations is an asset.
In-depth familiarity with governance and control, market risk, valuation, data science or accounting concepts obtained through previous experience in a capital markets function.
High level understanding of financial products and models.
Bachelor's Degree or Equivalent
7+ Years of Prior Experience
Outstanding record of project management success preferably in Capital Markets, both in results achieved and in use of professional methodology especially using Agile approach
Strong project management skills and demonstrated experience
Solid organizational skills including attention to detail and multi-tasking skills
Excellent written and verbal communication skills
Pro-active in developing and implementing strategies that significantly mitigate risk

Nice To Haves

CFA or FRM designation an asset
Master's Degree in related discipline an asset

Responsibilities

Accountability for leading the end-to-end remediation across all businesses and technology aspects of the project with remediating and integrating an operating model to maximize efficiency, effectiveness and scalability
Strong regulatory remediation partnership to drive through Internal Audit Validations and Governance standards.
Responsible aligning all departments on objectives into a shared vision
Providing leadership to technology and business partners to turn requirements into delivery with analyses and recommendations for solutions that meet business objectives within a timely and cost-effective manner.
Establishing and managing resource plans, issues, risks, and financial plans to support the roadmap.
Anticipating issues, trends and the potential impact and timely resolution of impediments, while effectively managing the program schedule (releases) and financials and ensuring continuing review and prioritization.
Coordinating with the respective enterprise control partners (e.g., EPDE, Strategic Sourcing Group, Legal, TRMIS, OCDO. etc.) to appropriately select, engage and manage external service providers as required
Staying energized, productive, and focused in the face of challenges, ambiguity, change or strenuous demands.
Demonstrate ability to consistently apply expert judgment with available information when proposing solutions/recommendations
Demonstrate ability to formulate cohesive recommendations regarding delivery approaches after consultation with key stakeholder groups on estimated effort, resource availability, cross-program dependencies, and other implementation constraints
Ability to create and foster a cohesive team and promote a positive work environment for all employees.
Ability to think strategically and possess strong business acumen
Proven ability to stay focused under pressure, demonstrating resilience in challenging situations
Ability to clearly communicate complex financial concepts and garner consensus on implementation methodology from all key stakeholders
Ability to progress on multiple priorities concurrently while navigating unfamiliar territory and ambiguous/evolving circumstances.
Aptitude for amalgamating and interpreting large volumes of information, identifying key clarifications required, and formulating next steps to proceed.
Building trust with stakeholder groups and maintain good working relationships with other departments.
Leading an effective and diverse business team to effectively deliver productivity, quality, and innovation.